SEC NEWS DIGEST Issue 2004-123 June 28, 2004 ENFORCEMENT PROCEEDINGS IN THE MATTER OF FREDERICK WALL On June 28, the Commission issued an Order Instituting Public Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 against Frederick W. Wall. In the Order, the Division of Enforcement alleges that on Dec. 11, 2000, Wall pleaded guilty to one count of conspiracy to commit securities fraud, mail fraud and wire fraud. The count of the indictment to which Wall pleaded guilty alleged, among other things, that Wall conspired to commit securities fraud in connection with a series of fraudulent offerings conducted through First Fidelity Investment Management and First Fidelity Equities, unregistered broker-dealers. On July 27, 2001, Wall was sentenced to a prison term of 30 months followed by three years of supervised release and ordered to make restitution in the amount of $500,000. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the respondent an opportunity to dispute these allegations, and to determine what remedial sanctions, if any, are appropriate and in the public interest. The Commission directed that the Administrative Law Judge issue an initial decision no later than 210 days from the date of service of the Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. 34-49923; File No. 3-11529) COURT GRANTS COMMISSION'S MOTION FOR VOLUNTARY DISMISSAL OF ITS CLAIMS AGAINST FREDERICK WALL On June 11, the Honorable Kimba M. Wood granted the Commission's motion for voluntary dismissal of its civil injunctive action against Frederick W. Wall. The Commission's action was dismissed with prejudice. Wall was one of seven individuals and six entities sued by the Commission on June 8, 2000, in connection with a series of fraudulent securities offerings. On Dec. 11, 2000, Wall pleaded guilty to one count of conspiracy to commit securities fraud, mail fraud and wire fraud, in a related criminal action. Wall was sentenced to a prison term of 30 months followed by three years of supervised release and ordered to make restitution in the amount of $500,000 (U.S. v. Salvatore Tavolacci, et al., 00 CR 554, SDNY, DC). For further information about the civil and related criminal proceedings, see Litigation Release No. 16588. [SEC v. Frederick W. Wall, 00 Civ 4385 SDNY KM] (LR-18764) SEC CHARGES MEASUREMENT SPECIALTIES, INC., AND ITS FORMER CFO, KIRK DISCHINO, WITH SECURITIES FRAUD On June 28, the Commission filed a civil injunctive action in U.S. District Court for the District of New Jersey charging Measurement Specialties, Inc. (MSI), a New Jersey-based manufacturing company, with accounting fraud, and its former chief financial officer, Kirk J. Dischino, with accounting fraud and insider trading. Both defendants have agreed to settle the Commission's charges, without admitting or denying the allegations. MSI has agreed to pay a penalty of $1 million. Dischino has agreed to pay disgorgement and penalty totaling in excess of $450,000, and agreed to be suspended from appearing or practicing before the Commission as an accountant. The Commission's complaint alleges that Dischino orchestrated and carried out two separate accounting frauds at MSI. First, the complaint alleges that, at Dischino's direction, MSI materially overstated its earnings and its inventory in its financial statements covering the periods ending June 30, 2000, through Sept. 30, 2001, by capitalizing overhead expenses into inventory in a manner that was clearly inconsistent with generally accepted accounting principles (GAAP), and that Dischino knew or was reckless in not knowing would mislead investors about MSI's earnings and the value of its inventory. Second, the complaint alleges that, from at least October 2001 until February 2002, Dischino concealed MSI's default under its loan agreements. In connection with the preparation of the company's quarterly report for the period ended Sept. 30, 2001 - which did not disclose the default - Dischino allegedly falsely represented to MSI's senior management, directors, and outside auditors that the lenders had waived the default. To substantiate his claim, Dischino allegedly fabricated a written waiver by the lenders, which he provided to MSI's auditors. The complaint further alleges that Dischino engaged in insider trading by selling MSI stock in December 2001 while he was aware of the true facts of MSI's overstated earnings and inventory, and its default, thereby avoiding losses of $215,734. Without admitting or denying the Commission's allegations, MSI and Dischino have agreed to settle the charges by consenting to permanent injunctions against further violations of the relevant antifraud, reporting, books-and-records, and internal controls provisions of the federal securities laws. In addition, MSI has agreed to pay a civil penalty in the amount of $1 million, along with nominal disgorgement of $1. Dischino has also agreed to pay disgorgement of $215,734, plus prejudgment interest of $21,932, and a civil penalty of $215,734. In addition, Dischino has also agreed to consent to the entry of an administrative order suspending him from appearing or practicing before the Commission as an accountant. The Commission acknowledges the assistance of the U.S. Attorney's Office for the District of New Jersey, and Special Agents of the Federal Bureau of Investigations and the United States Postal Inspection Service in the investigation of this matter. [SEC v. Measurement Specialties, Inc. and Kirk J. Dischino, Civil Action No. 04 Civ. 3000 (KSH), USDC, DNJ] (LR- 18765; AAE Rel. 2046) INVESTMENT COMPANY ACT RELEASES DREYFUS FOUNDERS FUNDS, INC., ET AL. A notice has been issued giving interested persons until July 19, 2004, to request a hearing on an application filed by Dreyfus Founders Funds, Inc., et al. for an order under Section 6(c) of the Investment Company Act exempting applicants from Sections 18(f) and 21(b) of the Act, under Section 12(d)(1)(J) of the Act exempting applicants from Section 12(d)(1) of the Act, under Sections 6(c) and 17(b) of the Act exempting applicants from Sections 17(a)(1) and 17(a)(3) of the Act, and under Section 17(d) of the Act and Rule 17d-1 under the Act to permit certain joint arrangements. The order would permit certain registered open-end management investment companies to participate in a joint lending and borrowing facility. (Rel. IC-26487 - June 24) DEREGISTRATION UNDER THE INVESTMENT COMPANY ACT For the month of June, 2004, a notice has been issued giving interested persons until July 20, 2004, to request a hearing on any of the following applications for an order under Section 8(f) of the Investment Company Act declaring that the applicant has ceased to be an investment company: T.O. Richardson Trust [File No. 811-8849] TCW/DW Term Trust 2002 [File No. 811-7146] TCW/DW Term Trust 2003 [File No. 811-7448] Morgan Stanley New Discoveries Fund [File No. 811-9951] Morgan Stanley Technology Fund [File No. 811-9983] Morgan Stanley Select Municipal Reinvestment Fund [File No. 811-3878] Morgan Stanley S&P 500 Select Fund [File No. 811-8809] Morgan Stanley Capital Growth Securities [File No. 811-5975] Morgan Stanley 21st Century Trend Fund [File No. 811-9615] Morgan Stanley Equity Fund [File No. 811-8739] Morgan Stanley Tax-Managed Growth Fund [File No. 811-9769] Morgan Stanley North American Government Income Trust [File No. 811-6572] Nuveen New York Municipal Income Fund, Inc. [File No. 811-5493] Dunhill Investment Trust [File No. 811-8719] UBS Financial Sector Fund Inc. [File No. 811-4587] UBS Mutual Funds Securities Trust [File No. 811-9745] Oppenheimer Trinity Growth Fund [File No. 811-9363] Lindner Investments [File No. 811-7932] (Rel. IC-26488 - June 25) SELF-REGULATORY ORGANIZATIONS IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGES A proposed rule change (SR-CHX-2004-16) and Amendment No. 1 by the Chicago Stock Exchange that establishes a minimum price variation of ten cents for any issue that customarily trades at a per share price of $100,000 or greater has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34- 49900) A proposed rule change (SR-NASD-2004-080) and Amendment No. 1 thereto filed by the National Association of Securities Dealers to conform certain provisions of NASD Rules 4200 and 4350 to the rules of another self-regulatory organization, and to make additional revisions has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49901) A proposed rule change (SR-NASD-2004-086) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary, The Nasdaq Stock Market, Inc. to clarify the treatment of certain non-preferential, ordinary-course payments has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49903) A proposed rule change (SR-NASD-2004-077) and Amendment No. 1 thereto filed by the National Association of Securities Dealers, through its subsidiary The Nasdaq Stock Market, Inc., to eliminate certain transaction charges for ITS securities has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49905) A proposed rule change (SR-NASD-2004-087) filed by the National Association of Securities Dealers relating to technical amendments to Section 4 of Schedule A to the NASD By-Laws and to Rule 10308(d) of the NASD Code of Arbitration Procedure, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49910) A proposed rule change (SR-NYSE-2004-28) filed by the New York Stock Exchange to extend, for an additional six-month period, a pilot rule regarding procedures for selecting arbitrators, has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49915) APPROVAL OF PROPOSED RULE CHANGE The Commission granted approval to a proposed rule change and granted accelerated approval to Amendment Nos. 2 and 3 thereto (SR-CHX-2003-19) submitted by the Chicago Stock Exchange relating to governance of issuers on the Exchange. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49911) PROPOSED RULE CHANGE The Pacific Exchange filed a proposed rule change and Amendment No. 1 thereto (SR-PCX-2004-47) to eliminate the ability to manually trade with orders and Quotes with Size in the Consolidated Book. Publication of the proposal is expected in the Federal Register during the week of June 28. (Rel. 34-49912) SECURITIES ACT REGISTRATIONS The following registration statements have been filed with the SEC under the Securities Act of 1933. The reported information appears as follows: Form, Name, Address and Phone Number (if available) of the issuer of the security; Title and the number and/or face amount of the securities being offered; Name of the managing underwriter or depositor (if applicable); File number and date filed; Assigned Branch; and a designation if the statement is a New Issue. Registration statements may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . S-8 LITHIA MOTORS INC, 360 E JACKSON ST, MEDFORD, OR, 97501, 5417766899 - 1,000,000 ($24,560,000.00) Equity, (File 333-116839 - Jun. 25) (BR. 02) S-8 LITHIA MOTORS INC, 360 E JACKSON ST, MEDFORD, OR, 97501, 5417766899 - 250,000 ($6,140,000.00) Equity, (File 333-116840 - Jun. 25) (BR. 02) S-4 Solo Cup CO, 1700 OLD DEERFIELD ROAD, HIGHLAND PARK, IL, 60035, 847-831-4800 - 0 ($325,000,000.00) Other, (File 333-116843 - Jun. 25) (BR. 06) S-8 CHARTERED SEMICONDUCTOR MANUFACTURING LTD, 60 WOODLANDS INDUSTRIAL PARK D STREE 2, SINGAPORE, 653622838 - 30,000,000 ($23,700,000.00) Equity, (File 333-116844 - Jun. 25) (BR. 36) S-8 OLD LINE BANCSHARES INC, 2995 CRAIN HWY, WALDORF, MD, 20601, 3016450333 - 250,000 ($2,500,000.00) Equity, (File 333-116845 - Jun. 25) (BR. 07) S-8 EDUCATION LENDING GROUP INC, 12760 HIGH BLUFF DRIVE, SUITE 210, SAN DIEGO, CA, 92130, 8586176080 - 1,500,000 ($27,180,000.00) Equity, (File 333-116846 - Jun. 25) (BR. 07) S-8 AVVAA WORLD HEALTH CARE PRODUCTS INC, PO BOX 335, 3018 SCHAEFFER ROAD, FALKLAND BC CANADA, A1, V0E 1W0, 250-379-2727 - 3,000,000 ($870,000.00) Equity, (File 333-116850 - Jun. 25) (BR. 04) S-4 PROVIDENT BANCORP INC/NY/, 400 RELLA BLVD, MONTEBELLO, NY, 10901, 8453698040 - 7,910,000 ($157,007,604.00) Equity, (File 333-116851 - Jun. 25) (BR. 07) SB-2 Georgia Trust Bancshares, Inc., 3570 FINANCIAL CENTER WAY, SUITE 2, BUFORD, GA, 30519, 7706147644 - 1,500,000 ($15,000,000.00) Equity, (File 333-116852 - Jun. 25) (BR. 09) S-8 PETER KIEWIT SONS INC /DE/, 1000 KIEWIT PLAZA, 3555 FARNAM STREET, OMAHA, NE, 68131, 4023422052 - 1,775,000 ($56,800,000.00) Equity, (File 333-116853 - Jun. 25) (BR. 06) S-3 RUSSELL CORP, 755 LEE STREET, P.O. BOX 272, ALEXANDER CITY, AL, 35011, 2565004000 - 250,000,000 ($250,000,000.00) Debt Convertible into Equity, (File 333-116854 - Jun. 25) (BR. 02) S-3 FIRST AMERICAN CORP, 1 FIRST AMERICAN WAY, SANTA ANA, CA, 92707, 714-800-3000 - 0 ($150,000,000.00) Non-Convertible Debt, (File 333-116855 - Jun. 25) (BR. 01) S-8 COMMUNITY CAPITAL CORP /SC/, 1402 C HIGHWAY 72, GREENWOOD, SC, 29649, 8649418200 - 225,000 ($4,792,500.00) Equity, (File 333-116856 - Jun. 25) (BR. 07) S-2 DEARBORN BANCORP INC /MI/, 22290 MICHIGAN AVE, PO BOX 2247, DEARBORN, MI, 48123-2247, 3132741000 - 0 ($36,289,400.00) Equity, (File 333-116857 - Jun. 25) (BR. 07) S-4 DELCO REMY INTERNATIONAL INC, 2902 ENTERPRISE DRIVE, ANDERSON, IN, 46013, 7657786499 - 0 ($275,000,000.00) Debt Convertible into Equity, (File 333-116858 - Jun. 25) (BR. 05) S-8 MOTIVE INC, 9211 WATERFORD CTR BLVD, STE 100, AUSTIN, TX, 78758, 5123398335 - 0 ($39,749,732.00) Equity, (File 333-116859 - Jun. 25) (BR. 03) S-8 MEADWESTVACO CORP, ONE HIGH RIDGE PARK, _, STAMFORD, CT, 06905, 2034617500 - 1,500,000 ($41,220,000.00) Equity, (File 333-116860 - Jun. 25) (BR. 04) F-10 BIOMIRA INC, 2011-94TH STREET, EDMONTON ALBERTA CAN, A0, 7804902812 - 0 ($100,000,000.00) Equity, (File 333-116861 - Jun. 25) (BR. 01) S-8 MEADWESTVACO CORP, ONE HIGH RIDGE PARK, _, STAMFORD, CT, 06905, 2034617500 - 2,000,000 ($54,960,000.00) Equity, (File 333-116862 - Jun. 25) (BR. 04) S-8 OAK HILL FINANCIAL INC, 14621 STATE RTE 93, JACKSON, OH, 44640, 6142863283 - 1,200,000 ($37,560,000.00) Other, (File 333-116863 - Jun. 25) (BR. 07) S-8 CABELAS INC, ONE CABELA DR, SIDNEY, NE, 69160, 308-254-5505 - 0 ($124,863,967.00) Equity, (File 333-116864 - Jun. 25) (BR. 02) S-8 GLOBAL AXCESS CORP, 225 PONTE VEDRA PARK DRIVE, PONTE VEDRA BEACH, FL, 32082, 9042803950 - 5,000,000 ($3,250,000.00) Equity, (File 333-116865 - Jun. 25) (BR. 07) S-8 INTERMUNE INC, 3280 BAYSHORE, BLVD, BRISBANE, CA, 94005, 415 466 2200 - 0 ($19,562,500.00) Equity, (File 333-116866 - Jun. 25) (BR. 01) S-8 MARCHEX INC, 413 PINE STREET, SUITE 500, SEATTLE, WA, 98101, 206-774-5000 - 5,276,103 ($33,276,466.00) Equity, (File 333-116867 - Jun. 25) (BR. 08) S-8 ARIES VENTURES INC, 28720 CANWOOD STREET, SUITE 207, AGOURA HILLS, CA, 91301, 7023315524 - 600,640 ($186,199.00) Equity, (File 333-116868 - Jun. 25) (BR. 04) S-8 BUSINESS OBJECTS S.A., 4089536000 - 0 ($6,183,000.00) Equity, (File 333-116869 - Jun. 25) (BR. 03) S-8 BUSINESS OBJECTS S.A., 4089536000 - 0 ($15,282,000.00) Equity, (File 333-116870 - Jun. 25) (BR. 03) S-3 INTAC INTERNATIONAL INC, UNIT 3-5, 17/F., CLIFFORD CENTRE, 778-784 CHEUNG SHA WAN ROAD, KOWLOON, K3, 011 852 2385 8789 - 0 ($43,020,000.00) Equity, (File 333-116871 - Jun. 25) (BR. 37) SB-2 KNIGHTSBRIDGE FINE WINES INC, ONE KIRKLAND RANCH ROAD, NONE, NAPA, CA, 94558, 7072549100 - 13,495,000 ($14,844,500.00) Other, (File 333-116873 - Jun. 25) (BR. 09) S-3 CIRCLE GROUP HOLDINGS INC, 1011 CAMPUS DRIVE, 310-556-0080, MUNDELEIN, IL, 60060, 847-549-60 - 2,297,605 ($13,785,630.00) Equity, (File 333-116874 - Jun. 25) (BR. 08) SB-2 DISTRIBUTION MANAGEMENT SERVICES INC, 11601 BISCAYNE BLVD, STE 201, MIAMI, FL, 33181, 3058939270 - 10,000,000 ($350,000.00) Equity, (File 333-116876 - Jun. 25) (BR. 07) S-8 BROADCOM CORP, 16215 ALTON PARKWAY, IRVINE, CA, 92618, 9494508700 - 0 ($1,234,292,389.35) Equity, (File 333-116877 - Jun. 25) (BR. 36) S-4 BRINKER INTERNATIONAL INC, 6820 LBJ FREEWAY, DALLAS, TX, 75240, 9729809917 - 0 ($300,000,000.00) Non-Convertible Debt, (File 333-116879 - Jun. 25) (BR. 05) S-1 IKANOS COMMUNICATIONS, 47669 FREMONT BLVD., FREMONT, CA, 94538, (510) 979-0400 - 0 ($85,000,000.00) Equity, (File 333-116880 - Jun. 25) (BR. ) S-4 MEDAREX INC, 707 STATE ROAD 206, PRINCETON, NJ, 08540, 9087136001 - 0 ($12,000,000.00) Equity, (File 333-116881 - Jun. 25) (BR. 01) S-8 UNITED RENTALS INC /DE, FOUR GREENWICH OFFICE PARK, GREENWICH, CT, 06830, 2036223131 - 175,000 ($2,971,500.00) Equity, (File 333-116882 - Jun. 25) (BR. 06) S-8 FILENET CORP, 3565 HARBOR BLVD, COSTA MESA, CA, 92626, 7149663400 - 2,000,000 ($58,420,000.00) Equity, (File 333-116883 - Jun. 25) (BR. 03) F-6 ST ASSEMBLY TEST SERVICES LTD, 5 YISHUN ST 23, SINGAPORE, U0, 768442, 657555885 - 200,000,000 ($10,000,000.00) Equity, (File 333-116884 - Jun. 25) (BR. 36) S-8 UICI, 9151 GRAPEVINE HIGHWAY, N. RICHLAND HILLS, TX, 76180, 8172555200 - 0 ($65,970,000.00) Equity, (File 333-116885 - Jun. 25) (BR. 01) SB-2 CONOLOG CORP, 5 COLUMBIA RD, SOMERVILLE, NJ, 08876, 9087228081 - 1,497,076 ($5,584,093.48) Equity, (File 333-116886 - Jun. 25) (BR. 08) S-8 UICI, 9151 GRAPEVINE HIGHWAY, N. RICHLAND HILLS, TX, 76180, 8172555200 - 0 ($222,648,750.00) Equity, (File 333-116887 - Jun. 25) (BR. 01) S-3 DYNTEK INC, 18881 VON KARMAN AVENUE, SUITE 250, IRVINE, CA, 92612, 949-955-0078 - 5,834,070 ($4,958,960.00) Equity, (File 333-116888 - Jun. 25) (BR. 08) S-1 PORTOLA PACKAGING INC, 890 FAULSTICH CT, SAN JOSE, CA, 95112, 4084538840 - 0 ($1.00) Non-Convertible Debt, (File 333-116889 - Jun. 25) (BR. 06) SB-2 College Oak Investments, Inc., 16161 COLLEGE OAK, SUITE 101, SAN ANTONIO, TX, 78249, 210-408-6019 EXT 2 - 234,000 ($234.00) Equity, (File 333-116890 - Jun. 25) (BR. ) S-8 MULTI FINELINE ELECTRONIX INC, 3140 E CORONADO ST, STE A, ANAHEIM, CA, 92806, 7142381487 - 4,659,705 ($46,597,050.00) Equity, (File 333-116891 - Jun. 25) (BR. 36) S-1 MILACRON INC, 2090 FLORENCE AVENUE, PO BOX 63716, CINCINNATI, OH, 45206, 5134875000 - 0 ($32,366,914.00) Equity, (File 333-116892 - Jun. 25) (BR. 36) S-8 SENOMYX INC, 11099 N TORREY PINES ROAD, SUITE 160, LA JOLLA, CA, 92037, 8586468300 - 0 ($20,003,365.00) Equity, (File 333-116893 - Jun. 25) (BR. 01) S-8 UTI WORLDWIDE INC, C/O UNION TRANSPORT CORP, 19443 LAUREL PARK RD SUITE 107, RANCHO DOMINQUEZ, CA, 90220, 3106043311 - 0 ($103,840,000.00) Equity, (File 333-116894 - Jun. 25) (BR. 05) SB-2 CONECTISYS CORP, 24730 AVENUE TIBBITTS #130, VALENCIA, CA, 91355, 6612956763 - 3,387,500,000 ($5,420,000.00) Equity, (File 333-116895 - Jun. 25) (BR. 37) S-8 UTI WORLDWIDE INC, C/O UNION TRANSPORT CORP, 19443 LAUREL PARK RD SUITE 107, RANCHO DOMINQUEZ, CA, 90220, 3106043311 - 0 ($10,384,000.00) Equity, (File 333-116896 - Jun. 25) (BR. 05) S-4 BUFFETS HOLDINGS, INC., 1460 BUFFET WAY, EGAN, MN, 55121, 651-994-8608 - 0 ($75,072,935.00) Non-Convertible Debt, (File 333-116897 - Jun. 25) (BR. ) S-3 TRIZEC PROPERTIES INC, 233 S. WACKER DR. #4600, CHICAGO, IL, 60606, 3127986000 - 0 ($750,000,000.00) Equity, (File 333-116898 - Jun. 25) (BR. 08) S-4 MILACRON INC, 2090 FLORENCE AVENUE, PO BOX 63716, CINCINNATI, OH, 45206, 5134875000 - 0 ($225,000,000.00) Non-Convertible Debt, (File 333-116899 - Jun. 25) (BR. 36) S-8 COVAD COMMUNICATIONS GROUP INC, 110 RIO ROBLES, SAN JOSE, CA, 95134, 4089526400 - 266,225 ($585,695.00) Equity, (File 333-116900 - Jun. 25) (BR. 37) S-3 STAAR SURGICAL COMPANY, 1911 WALKER AVE, MONROVIA, CA, 91016, 8183037902 - 2,000,000 ($13,460,000.00) Equity, (File 333-116901 - Jun. 25) (BR. 36) S-3 CENUCO INC, 6421 CONGRESS AVENUE, STE 201, BOCA RATON, FL, 33487, 5619944446 - 5,175,000 ($29,238,750.00) Equity, (File 333-116902 - Jun. 25) (BR. 09) RECENT 8K FILINGS Form 8-K is used by companies to file current reports on the following events: Item 1. Changes in Control of Registrant. Item 2. Acquisition or Disposition of Assets. Item 3. Bankruptcy or Receivership. Item 4. Changes in Registrant's Certifying Accountant. Item 5. Other Materially Important Events. Item 6. Resignations of Registrant's Directors. Item 7. Financial Statements and Exhibits. Item 8. Change in Fiscal Year. Item 9. Regulation FD Disclosure. Item 10. Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics. Item 11. Temporary Suspension of Trading Under Registrant's Employee Benefit Plans. Item 12. Results of Operations and Financial Condition. The following companies have filed 8-K reports for the date indicated and/or amendments to 8-K reports previously filed, responding to the item(s) of the form specified. 8-K reports may be obtained in person or by writing to the Commission's Public Reference Branch at 450 Fifth Street, N.W., Washington, D.C. 20549 or at the following e-mail box address: . In most cases, this information is also available on the Commission's website: . STATE 8K ITEM NO. NAME OF ISSUER CODE 1 2 3 4 5 6 7 8 9 10 11 12 13 DATE COMMENT ------------------------------------------------------------------------------------------------ AAON INC NV X 06/23/04 ABX AIR INC X X 06/25/04 ADVANCED MAGNETICS INC DE X X 06/25/04 AirRover Wi-Fi Corp. DE X 06/21/04 ALLEGHENY ENERGY INC MD X X 06/24/04 AMERICAN BUSINESS FINANCIAL SERVICES DE X 06/24/04 AMERICAN EQUITY INVESTMENT LIFE HOLDI IA X 05/24/04 AMERICAN FINANCIAL REALTY TRUST X X 06/23/04 AMERICAN ITALIAN PASTA CO DE X 06/25/04 AMERICAN PHYSICIANS CAPITAL INC MI X X 06/24/04 AMERICAN TECHNOLOGY CORP /DE/ DE X X 06/24/04 AMERICAN VANGUARD CORP DE X X 06/24/04 ANSCOTT INDUSTRIES INC FL X X 06/25/04 AMEND AP PHARMA INC /DE/ DE X X 06/25/04 AQUILA INC DE X X 06/24/04 ARBITRON INC DE X 06/24/04 ARMOR HOLDINGS INC DE X 06/21/04 ATLAS AIR INC DE X X 06/25/04 ATLAS AIR WORLDWIDE HOLDINGS INC DE X X 06/25/04 AVALON CORRECTIONAL SERVICES INC NV X 06/21/04 AXM PHARMA INC NV X X 06/25/04 AZZ INC TX X X 06/25/04 BANC OF AMERICA COMMERCIAL MORTGAGE I DE X X 06/24/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 06/25/04 BANC OF AMERICA MORTGAGE SECURITIES I DE X X 06/25/04 BAY VIEW CAPITAL CORP DE X X 06/24/04 BAY VIEW SECURITIZATION CORP DE X 06/15/04 BAY VIEW TRANSACTION CORP X 06/15/04 BEHRINGER HARVARD REIT I INC MD X 06/24/04 AMEND BLACKHAWK BANCORP INC WI X 06/22/04 BMW VEHICLE OWNER TRUST 2001-A DE X 06/25/04 BMW VEHICLE OWNER TRUST 2002-A X 06/25/04 BMW VEHICLE OWNER TRUST 2003-A X 06/25/04 BMW Vehicle Owner Trust 2004-A X 06/25/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 03/26/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 03/01/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 04/13/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 03/22/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/09/04 BOSTON CAPITAL TAX CREDIT FUND IV LP DE X 01/27/04 BOSTON SCIENTIFIC CORP DE X X 06/25/04 CALIFORNIA STEEL INDUSTRIES INC X 06/24/04 CALLON PETROLEUM CO DE X X 06/23/04 CALPROP CORP CA X X 06/22/04 CANTERBURY CONSULTING GROUP INC PA X 06/23/04 CARDIODYNAMICS INTERNATIONAL CORP CA X 06/23/04 CFSB MOR SEC CORP HOME EQUITY ASSET T DE X X 06/25/04 CHARMING SHOPPES INC PA X 06/24/04 CITGO PETROLEUM CORP DE X X 06/25/04 CITICORP MORTGAGE SECURITIES INC DE X X 06/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 06/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 06/25/04 CITIFINANCIAL MORTGAGE SECURITIES INC DE X 06/25/04 CNB FLORIDA BANCSHARES INC FL X X 06/24/04 CNL HOSPITALITY PROPERTIES INC MD X X 06/16/04 CNL INCOME PROPERTIES INC MD X 06/25/04 COLUMBIA BANCORP MD X X 06/24/04 COMMUNITY BANCSHARES INC /DE/ DE X X 06/24/04 CONOLOG CORP DE X 06/22/04 CORNELL COMPANIES INC DE X X 06/24/04 CREDIT SUISSE FIRST BOSTON MORTGAGE S DE X X 06/25/04 CREDIT SUISSE FIRST BOSTON USA INC DE X X 06/24/04 CSB BANCORP INC /OH OH X X 06/25/04 CWABS INC DE X X X 06/25/04 CWABS INC DE X X 06/23/04 CWABS INC ASSET BACKED CERTIFICATES S DE X 05/25/04 CWABS INC ASSET BACKED CERTIFICATES S DE X 05/25/04 CWALT INC X X 04/30/04 CWALT INC X X 04/28/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 X 05/25/04 CWALT INC ALTERNATIVE LOAN TRUST 2004 X 05/25/04 CWALT INC MORTGAGE PASS-THROUGH CERTI X 05/25/04 CWMBS INC DE X X 04/29/04 CWMBS INC DE X X 04/29/04 CWMBS INC CHL MORTGAGE PASS THROUGH T DE X 05/25/04 CWMBS INC CHL MORTGAGE PASS-THROUGH T DE X 05/25/04 CYNTECH TECHNOLOGIES INC UT X X 06/25/04 CYTOGEN CORP DE X X 06/25/04 DIEBOLD INC OH X X 06/25/04 DIGITAL GENERATION SYSTEMS INC DE X X 06/10/04 EDIETS COM INC DE X 06/22/04 EL PASO CORP/DE DE X X 06/24/04 ENER1 INC FL X X 06/09/04 ENERGY TRANSFER PARTNERS LP DE X X 06/23/04 ENERGY TRANSFER PARTNERS LP DE X X 06/25/04 ENNIS, INC. TX X X X 06/24/04 ENRON CORP/OR/ OR X X 06/24/04 ENTERTAINMENT PROPERTIES TRUST MD X 06/22/04 ENTRX CORP DE X X 06/22/04 ENXNET INC OK X X 06/18/04 ESSEX CORPORATION VA X X 06/25/04 AMEND EVERTRUST FINANCIAL GROUP INC WA X X 06/24/04 FIREARMS TRAINING SYSTEMS INC DE X X 06/25/04 FIRST CAPITAL INCOME PROPERTIES LTD S IL X X 06/11/04 FIRST CHOICE HEALTH NETWORK INC WA X 06/24/04 FIRST NATIONAL BANCSHARES INC /SC/ SC X X 06/24/04 FREEPORT MCMORAN COPPER & GOLD INC DE X 06/25/04 FREESTAR TECHNOLOGY CORP NV X X 10/15/03 AMEND FREESTAR TECHNOLOGY CORP NV X X 05/04/04 AMEND GE COMMERCIAL MORTGAGE CORP DE X X 06/23/04 GS MORTGAGE SECURITIES CORP DE X X 06/23/04 GS MORTGAGE SECURITIES CORP DE X X 06/23/04 GS MORTGAGE SECURITIES CORP DE X X 06/24/04 GUIDELINE CAPITAL INC NV X 05/31/04 GULFTERRA ENERGY PARTNERS L P DE X X 06/25/04 HANGER ORTHOPEDIC GROUP INC DE X X 06/22/04 HARLEY DAVIDSON MOTORCYCLE TRUST 2004 NV X X 06/15/04 Harley-Davidson Motorcycle Trust 2004 NV X X 06/15/04 HEALTHSOUTH CORP DE X X 06/24/04 HILLENBRAND INDUSTRIES INC IN X X 06/24/04 HOLLINGER INTERNATIONAL INC DE X X 06/23/04 HOLLY CORP DE X X 06/25/04 IBERIABANK CORP LA X X 06/25/04 ICU MEDICAL INC/DE DE X X 06/24/04 IMH ASSETS CORP DE X X X 06/25/04 IMH ASSETS CORP DE X X 06/25/04 INCARA PHARMACEUTICALS CORP DE X X 06/25/04 INLAND WESTERN RETAIL REAL ESTATE TRU MD X X 06/23/04 INN OF THE MOUNTAIN GODS RESORTS & CA X 06/25/04 INTEGRATED BIOPHARMA INC DE X X 06/24/04 INTEGRATED BUSINESS SYSTEMS & SERVICE SC X X 06/25/04 INTERCEPT INC GA X X 06/23/04 INTERNATIONAL DISPLAYWORKS INC OR X X X 06/24/04 INVESTOOLS INC DE X X 06/25/04 IVAX CORP FL X 06/25/04 JACOBS ENGINEERING GROUP INC /DE/ DE X 06/23/04 JOHNSONDIVERSEY INC DE X X 06/10/04 KERR MCGEE CORP /DE DE X X 06/25/04 KITTY HAWK INC DE X 06/25/04 KULICKE & SOFFA INDUSTRIES INC PA X X 06/24/04 LAND O LAKES INC X X 06/25/04 LANNETT CO INC DE X X 06/23/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 06/15/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 06/15/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 06/15/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 06/15/04 LEHMAN ABS CORP BACKED TRUST CERTS SE DE X X 06/15/04 LEHMAN ABS CORP BCKD TR CRTS WR BERK DE X X 06/15/04 LINENS N THINGS INC DE X 05/17/04 LL&E ROYALTY TRUST TX X X X 06/25/04 MAGNITUDE INFORMATION SYSTEMS INC DE X X 06/25/04 MDC PARTNERS INC X X 06/25/04 MEDAREX INC NJ X X 06/25/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 06/25/04 MERRILL LYNCH MORTGAGE INVESTORS INC DE X X 06/22/04 MESTEK INC PA X X 06/23/04 METROMEDIA INTERNATIONAL GROUP INC DE X 06/22/04 MIAD SYSTEMS LTD A6 X X 06/25/04 MICRO THERAPEUTICS INC DE X X 06/25/04 MORRIS PUBLISHING GROUP LLC GA X 06/25/04 MORTGAGE ASSET SECURITIZATION TRANSAC DE X X 06/23/04 NANOMETRICS INC CA X X 06/18/04 National Collegiate Student Loan Trus X X 06/10/04 NATIONAL RURAL UTILITIES COOPERATIVE DC X 05/21/04 AMEND NATIONSLINK FUNDING CORP 1999-LTL-1 C DE X 06/22/04 NAVISTAR FINANCIAL DEALER NOTE MASTER DE X X 05/31/04 NEORX CORP WA X X 06/24/04 NEW YORK MORTGAGE TRUST INC MD X X 06/23/04 NEWPOWER HOLDINGS INC DE X X 06/25/04 NEWTEK BUSINESS SERVICES INC NY X X 06/22/04 NEXMED INC NV X X 06/23/04 NEXTEL PARTNERS INC DE X 06/25/04 O A K FINANCIAL CORP MI X X 06/25/04 O CHARLEYS INC TN X 06/25/04 O CHARLEYS INC TN X 06/25/04 OHIO CASUALTY CORP OH X 06/24/04 OMI CORP/M I X X 06/23/04 ONEIDA LTD NY X X 06/25/04 ONLINE POWER SUPPLY INC NV X 06/25/04 OTISH MOUNTAIN DIAMOND CO NV X 06/18/04 PACIFIC MAGTRON INTERNATIONAL CORP NV X X 06/25/04 PANAMERICAN BANCORP DE X X 06/04/04 AMEND PANAMERICAN BANCORP DE X X 06/14/04 AMEND PARENTECH INC DE X 05/13/04 AMEND PARTNERS TRUST FINANCIAL GROUP INC X 06/25/04 PAYCHEX INC DE X 06/24/04 PENFORD CORP WA X X 06/21/04 PER SE TECHNOLOGIES INC DE X X 06/24/04 PIONEER COMPANIES INC DE X X 06/25/04 PIONEER NATURAL RESOURCES CO DE X X 06/25/04 PIONEER NATURAL RESOURCES CO DE X X 06/25/04 PRICELINE COM INC DE X X 06/24/04 PS BUSINESS PARKS INC/CA CA X X 06/24/04 PS BUSINESS PARKS INC/CA CA X X 06/24/04 PURCHASESOFT INC DE X 06/25/04 PURE CYCLE CORP DE X 06/25/04 RANGE RESOURCES CORP DE X X 06/24/04 RELOCATE 411 COM INC / DE X X 06/23/04 REPTRON ELECTRONICS INC FL X X 06/22/04 RESIDENTIAL ACCREDIT LOANS INC DE X X 06/25/04 RESIDENTIAL ACCREDIT LOANS INC DE X X 06/25/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/25/04 RESIDENTIAL ASSET MORTGAGE PRODUCTS I DE X X 06/25/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/25/04 RESIDENTIAL FUNDING MORTGAGE SECURITI DE X X 06/25/04 RICA FOODS INC NV X X 06/25/04 ROWE COMPANIES NV X X 06/23/04 ROXIO INC DE X X 06/17/04 ROYALE ENERGY INC CA X X 06/25/04 SEITEL INC DE X X 06/25/04 SEQUOIA MORTGAGE FUNDING CORP MD X X 06/25/04 SHELLS SEAFOOD RESTAURANTS INC DE X X 06/23/04 SILICON GRAPHICS INC DE X X 06/23/04 AMEND SINCLAIR BROADCAST GROUP INC MD X 06/25/04 SOUTHERN UNION CO DE X 06/25/04 STEEL TECHNOLOGIES INC KY X 06/25/04 STRATOS INTERNATIONAL INC DE X X 06/24/04 STRATS SM TRUST FOR DOMINION RESOURCE DE X X 06/15/04 STRATS SM TRUST FOR IBM CORP SEC SERI X X 06/15/04 STRATS SM TRUST FOR U S CELL CORP SEC X X 06/15/04 SWIFT ENERGY CO TX X 06/09/04 SYMS CORP NJ X X 06/25/04 TELCOBLUE INC DE X X 05/14/04 AMEND TETRA TECH INC DE X X 06/24/04 TIDELANDS OIL & GAS CORP/WA NV X X 06/17/04 TOPPS CO INC DE X 06/24/04 TRESTLE HOLDINGS INC DE X X 06/25/04 TRIZEC PROPERTIES INC DE X X 04/15/04 AMEND UNITED FINANCIAL MORTGAGE CORP IL X X 06/24/04 UNITRIN INC DE X 06/23/04 UNIVERSAL COMPRESSION HOLDINGS INC DE X 06/22/04 VANS INC DE X 06/25/04 WALTER INDUSTRIES INC /NEW/ DE X 06/24/04 WASTE MANAGEMENT INC DE X X 06/25/04 WESTERN GAS RESOURCES INC DE X X 06/24/04 WGL HOLDINGS INC VA X 06/24/04 WHITEHALL JEWELLERS INC DE X X 06/25/04 WHOLESALE AUTO RECEIVABLES CORP DE X X 06/15/04 WHOLESALE AUTO RECEIVABLES CORP DE X X 06/15/04 WILSONS THE LEATHER EXPERTS INC MN X X 06/24/04 WORLD ASSOCIATES INC/NV/ NV X X X X 06/25/04 WORLDGATE COMMUNICATIONS INC DE X X 06/25/04 WRIGHT MEDICAL GROUP INC DE X X 06/21/04 WSFS FINANCIAL CORP DE X X 06/24/04 XIN NET CORP FL X X 06/24/04 YAAK RIVER RESOURCES INC CO X 06/24/04